Financial Regulation → MiFID II / MiFIR

Financial Promotion and Marketing Compliance (FPMC1705H120)

Everyone wants to know how to put their product or service out in front of future customers in a multi-channel world. It is also a world where the European Securities and Markets Authority already intervened in a significant way to dictate the forms of marketing allowed for promoting financial products.


This course examines the role of the regulatory framework and competent authorities in Europe and the USA for the protection of consumers and investors. It provides a sound grounding in the guidelines for financial promotions and advertising principles. It covers the special provisions which result in unfair business-to-consumer commercial practices that go against professional diligence requirements.

Training Duration

This course may take up to 5 hours to be completed. However, actual study time differs as each learner uses their own training pace.


This course is ideal for anyone wishing to be introduced to the ethical and regulatory principles in promoting and advertising financial products. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation.

Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.

At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.

Accreditation and CPD Recognition

This programme has been developed by the European Institute of Management and Finance (EIMF), a globally-recognised training institution.

The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies forĀ 5 CPD Units that require CPD training in financial regulation. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI, ICA, and ACAMS.

Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Registration and Access

To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.

Access to the course is valid for 90 days.

If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.
  • Introduction
  • Introduction to the Course
  • Course Structure
  • Module 1: The Regulatory Authorities
  • The Regulatory Authorities
  • The Regulatory Authorities Multiple-Choice Questions
  • MODULE 2: Guidelines for Financial Promotions
  • Guidelines for Financial Promotions
  • Guidelines for Financial Promotions Multiple-Choice Questions
  • MODULE 3: Advertising Guidelines on Disseminating Information
  • Advertising Guidelines on Disseminating Information
  • Advertising Guidelines on Disseminating Information Multiple-Choice Questions
  • Module 4: Unfair Commercial Practices
  • Unfair Commercial Practices
  • Unfair Commercial Practices Multiple-Choice Questions
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever